About
The Full Story
My journey into compliance consulting was shaped by a multifaceted career in financial services, with defining roles at London Financial Consultants (LFC) and Deloitte that highlighted the critical need for specialized, tailored compliance solutions—particularly in anti-money laundering (AML) procedures and case auditing. I began in 2017 as a Financial Paraplanner at Pocock Rutherford & Co, where I developed a strong foundation in managing client investments and pensions while ensuring regulatory adherence. This role ignited my passion for compliance, which I carried forward through roles at Close Brothers Asset Management and Succession Wealth Management, where I managed high-net-worth client portfolios, set up complex financial structures, and led teams to streamline processes while maintaining FCA compliance.
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In 2021, I joined Ascot Lloyd as an IFA/Operations specialist, overseeing £250 million in client assets. I adapted protocols for an acquisitions-driven business, ensuring regulatory alignment and enhancing client engagement. However, my role at London Financial Consultants (LFC) from May to December 2023 was a pivotal moment in my career. At LFC, I took on a multifaceted role that included training two junior planners through their Level 4 Diploma while ensuring the firm’s adherence to FCA regulations. A key focus was implementing robust AML procedures and auditing cases to maintain compliance. I developed and led in-depth training sessions on AML, covering customer due diligence (CDD), know-your-customer (KYC) protocols, and transaction monitoring to identify red flags like unusual payment patterns or high-risk jurisdictions. I trained staff on how to use tools like World-Check for sanctions screening and ensured they understood the importance of documenting decisions to mitigate risks of money laundering or terrorist financing, aligning with the FCA’s 2025–30 strategy on financial crime prevention.
Additionally, I established a rigorous case auditing process at LFC, conducting pre-file checks to ensure financial advisers and investment managers met FCA standards. This involved reviewing client files for completeness, verifying that suitability reports aligned with client risk profiles, and ensuring all advice adhered to Consumer Duty principles. I created a compliance monitoring system that tracked FCA reporting, internal reviews, and training, which I later expanded to support business growth. This system flagged discrepancies, such as incomplete CDD or missing transaction justifications, allowing us to address issues proactively and pass audits with flying colors—achieving zero breaches during my tenure.
My experience deepened in late 2023 when I was headhunted by Deloitte as a Compliance Contractor for their largest client, Saint James Place (SJP). Tasked with managing thousands of weekly complaints, I gained profound insights into large-scale compliance operations within a Big Four consultancy. I ensured SJP adhered to FCA guidelines, conducted intricate redress calculations, and navigated pre- and post-RDR regulations, often diving into archived plans to extract critical information. My AML expertise was crucial here, as I reviewed historical client transactions for potential financial crime risks, applying the same rigorous auditing principles I developed at LFC. Partnering with SJP, I implemented processes and completed special projects under tight deadlines, such as high-level critical yield calculations, while overseeing daily operations to maintain productivity. This role exposed the limitations of broad, one-size-fits-all compliance frameworks, particularly in addressing complex AML and auditing needs in large financial institutions.
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Recognizing the demand for specialized, client-focused compliance solutions, I founded my compliance consulting business in 2025. My Big Four experience at Deloitte, combined with my hands-on AML and auditing work at LFC, highlighted the need for consultants who can deliver tailored strategies. I bring a meticulous approach to AML compliance, offering bespoke training on CDD, KYC, and transaction monitoring, as well as developing auditing frameworks that ensure adherence to FCA standards like Consumer Duty and ESG requirements. My technical skills, including self-taught programming and CRM system development, allow me to create custom tools—such as compliance monitoring systems and client portals—that help firms stay ahead of regulations while mitigating financial crime risks. As a CII member and ongoing IMC Level 4 student, I combine deep regulatory knowledge with practical, innovative solutions, helping financial firms achieve compliance, operational excellence, and sustainable growth in a dynamic regulatory landscape.
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